RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
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- I••••••••• P•••••• W••••• A••••••• L•• independent RIA currentsince Sep 30, 2022 · San Diego, Ca
- L••••• P••• L•• independent RIASep 29, 2021 to Apr 17, 2023 · San Diego, Ca
- F•••• F•••••••• G••••• I••• formerMay 12, 2020 to Feb 18, 2021 · Greenwood Village, Co
- A•••••• W••••• M••••••••• L•• independent RIAMay 1, 2015 to Dec 31, 2021 · San Diego, Ca
- S••••• P•••••• F•••••••• G••••• L•• unclassifiedOct 4, 2013 to Jan 26, 2022 · San Diego, Ca
- L••••• P••• L•• to I••••••••• P•••••• W••••• A••••••• L••left Apr 17, 2023, registered Sep 30, 2022 (-199 days) · RIA to a newly registered adviser
- S••••• P•••••• F•••••••• G••••• L•• to A•••••• W••••• M••••••••• L••left Jan 26, 2022, registered May 1, 2015 (-2462 days) · Other
- A•••••• W••••• M••••••••• L•• to F•••• F•••••••• G••••• I•••left Dec 31, 2021, registered May 12, 2020 (-598 days) · RIA to RIA
- F•••• F•••••••• G••••• I••• to L••••• P••• L••left Feb 18, 2021, registered Sep 29, 2021 (223 days) · RIA to RIA
- D••••• •••• G•••••• left L••••• P••• L•• for I••••••••• P•••••• W••••• A••••••• L•• (registered 2022-09-30)Apr 17, 2023 · Advisor changed firm · fact
- D••••• •••• G•••••• left S••••• P•••••• F•••••••• G••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2015-05-01)Jan 26, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address